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Quality Assurance

  • Salary: £30000 - £35000 per annum
  • Location: Wolverhampton, West Midlands
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    21 Jun 2018
  • Job reference: 31016

Leading IFA practice who have grown though questions are currently looking to grow the compliance function and appoint a Compliance Assistant to the busy team. The successful candidate will assist in maintaining a strong compliance culture, ensuring that regulatory compliance requirements are managed effectively and the treating the customers fairly principles are embedded.


  • Assist in ensuring that the firm maintains accurate, detailed and up to date compliance records across all areas of the firm's business
  • Ensure appropriate ethical standards exist within the firm
  • Accurately complete pre and post- sale checks
  • Identify and initiate corrective action and record errors/omissions
  • Efficiently maintain compliance records and data
  • Liaise with colleagues within the firm in relation to processes when necessary
  • Assist the firm implementing its risk based compliance/financial crime procedures
  • Assist in reviewing any complaints against the firm and investigate in accordance with relevant regulator's complaints handling rules
  • Assist the Compliance Manager and Training and Development Manager as required

Skills and Knowledge

  • The requisite technical knowledge and qualification (e.g. QCA Level 3 or 4 exam)
  • Broad base of compliance knowledge and proven experience of working within a compliance role
  • Specific understanding/knowledge of the FCA COBS/SYSC rules
  • Good understanding of other relevant legislation, including that related to financial crime
  • Good team player - Readily assists all members of the team to achieve team and individual objectives, particularly in busy periods
  • Planning and organising skills - Able to manage multiple tasks effectively
  • Ability to act with integrity, due skill, care and diligence

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

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